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Introduction to NIH Fellowship and Training Grants - Ruth L. Kirschstein National Research Service Awards

NIH states that fellowship and training awards are available “To help ensure that a diverse and highly trained workforce is available in adequate numbers and in the appropriate research areas and fields to carry out the nations’ biomedical and behavioral research agenda.” To meet this need there are various types of awards available.

Note the Guideline for University management of fellowships and training grants at

http://www.bc.pitt.edu/policies/index.html (Will be posted in fiscal year 2006)

Individual Fellowship Awards Are Identified As F30, F31 and F32 Awards

• F-30 and F31 are fellowships awarded to pre-doctoral candidates
• F32 are fellowships awarded to postdoctoral candidates with the potential to become productive independent investigators in fields related to the mission of the NIH institutions and centers.
• F33 – Senior Fellowships
• Awards are made through a national competition for research training in areas that fall within the missions of the NIH. Research training of physicians has been increasingly emphasized. By law, special consideration to physicians agreeing to a minimum of 2 consecutive years of biomedical, behavioral or clinical research training. For those with a health professional degree, proposed training may be used to satisfy a portion of the degree requirements for a master’s degree, a doctoral degree, or any other advanced research degree program.

The website for detailed information on fellowship awards follows:

http://grants1.nih.gov/grants/policy/nihgps_2003/index.htm

• Individual Fellowships – page 167

Institutional Research Training Grants Are Identified as T32 and T35 Awards

• T32 are specifically awarded to individuals selected for predoctoral and postdoctoral research training in specified shortage areas
• T35 are short term awards that provide research training during off-quarters or summer periods to encourage research careers and/or research in areas of national need.
• Purpose of awards is to ensure that a diverse and highly trained workforce is available in adequate numbers and in the appropriate research areas and fields to carry out the nation’s biomedical and behavioral research agenda.

The website for detailed information on training awards follows:

http://grants1.nih.gov/grants/policy/nihgps_2003/index.htm

• Institutional Research Training Grants – page 185

Institutional Requirements for Eligibility of Fellowship and Training Awards

Research Institutions must apply directly to NIH institutes and centers through a PHS398 application.Institutions must have a strong research program in areas proposed for research training and that have staff and facilities required to carry out the proposed program. Institutions must have Principal Investigators with the skills and knowledge to be Training Program Directors (PD) and have the institutional resources necessary to organize and implement a high-quality research training program within the recipient organization. The PD selects and appoints trainees to the Kirschstein-NRSA research training grant. The PD is also responsible for the overall direction, management, and administration of the program and must assure that the individuals receiving the support meet the eligibility requirements.

The major goal is to provide the opportunity for trainees to carry out supervised biomedical or behavioral research with the primary objective of developing or extending their research skills and knowledge in preparation for a research career that will benefit the public in the United States.

Candidate Academic Requirements to Receive A Kirschstein-NRSA award

Specific requirements can be found at the website listed at the beginning of this page.

It is important to note that there are unacceptablecriteria for considering candidates.

These awards do not support studies leading to the M.D., D.D.S, D.V.M. or other clinical, health professional training except when those studies are a part of a formal combined research degree program, such as the M.D./Ph.D.

Furthermore, individuals may not accept a Kirschstein-NRSA training award for clinical training that is part of residency training leading to clinical certification in a medical or dental specialty or subspecialty.

Specifics of Fellowship and Training Awards

Duration of awards

• Trainees are appointed for full-time 12-month continuous periods and an appointment or reappointment may not exceed 12 months without prior approval by the NIH awarding office.
• No trainee may be appointed under a regular Kirschstein-NRSA institutional research training grant for less than 9 months except with special permission
• An individual trainee may receive no more than 5 years aggregate Kirschstein-NRSA support at the predoctoral level and
• No more than 3 years support at the postdoctoral level
• These limitations also include a combination of institutional research training grants and individual fellowships.
• Exceptions must be requested in writing to NIH and the trainee’s Program Director and AOO (authorized organizational official) must certify as to the need for additional support.

Fellow and trainee responsibilities

• All trainees are required to pursue their research training full time, (normally defined as 40 hours per week)
• Trainees are expected to devote full time to the research training proposed and accepted by the NIH
• During the 40 hours per week required for research training, research trainees who also are training as clinicians must devote their time to the research training and must confine clinical duties to those that are an integral part of the research training experience.

Benefits to fellows and trainees

• The trainee receives a stipend to pay for room and board while receiving training toward a research career
• Tuition and fees and travel (by special permission) are additional benefits
• Stipends may be supplemented from non-Federal funds provided the supplementation be without obligation to the trainee.
• The institution can determine the amount of supplement provided it is consistent for all like circumstances
• Trainees may receive minimal compensation outside of stipend and supplement provided responsibilities related to the compensation do not interfere with the training grant responsibilities

Allowable Costs

• Stipends for full-time 12 month periods to defray living expenses during the research training experience.
• Stipends must be paid in accordance with established stipend levels as listed in the notice of grant award and as listed in the NIH guide annual announcement of stipend levels. It is imperative that fellows and trainees are paid the full allotted amount by the fellowship or training award.
• Stipend amounts may be adjusted only at the time of appointment or reappointment. This means that stipends remain constant for a full year period.
• Training related expenses must be related specifically to the trainees: technical staff salaries, consultant costs, equipment, research supplies, staff travel, tuition/fees and other expenses – any deviation from these costs needs prior approval from the federal government
• Admin staff salaries should not be charged to training grants unless more than 25% percent effort is required for a complicated grant.
• Tuition, fees, and health insurance (self-only or family) are allowable when applied consistently within the organization
• Travel costs can be allowed with special permission of NIH
• Fringe benefits for trainees are inappropriate and unallowable on institutional research training grants.

University Accounting For Fellows And Trainees

• The amount of the stipend, tuition, and fees for each full period of appointment must be obligated by the grantee from funds available when the individual begins training.
• The University accounts for the trainee stipend by job family and subcode
• The stipend level must be for the full amount authorized by the NIH for the stipend period. The stipend level for all years (first, second or third year) is published annually in the NIH Guide for Grants and Contracts
• Appointment classification for fellows and trainees
• Certificate-Certificate Trainee – 5820
• Certificate - Postdoctoral Scholar – 5825
• Certificate-Certificate Predoctoral Fellow - 5830
• Academic - Postdoctoral Degree – 5761

Financial Reporting to NIH

Fellowship Awards

• Fellowship awards are reported to NIH at the end of the fellowship project period or when a fellow terminates.

Training Awards

• An FSR needs to be prepared for NIH annually for training grants.
• NOTE FOR FINAL YEAR OF A PROJECT SEGMENT: A no cost extension is required to extend the end date of the agreement to accommodate the extended time of work. The trainee is allowed to complete the training with charges to the training grant.
• The University department must present a closing memo to R/CA for a training grant within 45 days after the end date of the project year
• The closing should list the remaining months of stipend for a full year award for trainees that started in the midst of the training grant period. All related tuition, fees and indirect costs must also be listed.The budget for these months will be moved to the next training grant period.
• Example: A trainee beginning the year in the first month of the training award period will be charged and reported for 12 months on the award without carry over to the next award period.
• Example: A trainee beginning the 5th month into an award period will be charged for 8 months to the current award year. 4 months stipend and trainee costs will be listed on the closing memo, and budget for these costs will be moved to the next award period. The 4 months will be listed on the FSR as unliquidated obligations.
• It is imperative that stipend and fee amounts are moved forward to the next year so that the training grant does not run out of funds in the last year for trainees that need to complete trainee work.
• The attached PDF file gives an example of reporting trainee expenses for an annual closing sent to Research/Cost Accounting – Accounting for Trainees

Termination of a Trainee

• Form (PHS416-7) Ruth L. Kirschstein National Research Service Award Termination Notice must be filled out and signed by trainee.
• This form is to be filed for trainees after the end of a training period.
• For early termination of a trainee, this form needs to be completed as soon as the trainee informs the department of his/her departure.
• This form is used to determine trainees’ payback requirements.
• The Research/Cost Accounting Office signs off on the termination notices after comparing the termination report to the Oracle general ledger account. If the termination notice does not equal the ledger costs, the termination notice will need to be revised.

Resources

• Accounting for and Reporting to Agency on Training Grants (PDF Format)